Our in-brief roundup of notable stories from the last week.
FINRA Rule 3170
Also referred to as the "Taping Rule". Requires certain firms to install taping systems to record all telephone conversations between their registered persons and existing and potential customers and also to review those recordings and file reports with FINRA.
Rule Overview
Jurisdiction: United States
Regulator: FINRA
Topic: Recordkeeping
FINRA Rulebook Rule 3170Overview
Latest News
Further Reading
Latest News
Premium
Disciplinary decisions issued August 1 – 21, 2026.
Our in-brief roundup of notable stories from the last week.
Premium
Letter by Chair Atkins suggests changes to funding as well as further rulemaking by the regulator will likely follow.
Premium
Disciplinary decisions issued July 4 – 31, 2026.
Premium
Disciplinary decisions issued June 27 – July 3, 2026.
Key personnel moves across the regulated industries that we cover.
Quick Watch
There are several compliance challenges for firms incorporating AI notetaking into their processes.
